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Thomas James Farrell

Aspire Private Capital

Cornelius, NC

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Current Employers
Aspire Private Capital

19410 Jetton Road Suite 110, Cornelius, NC 28031 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2014-05-13
  • NC RA
    APPROVED
    Since 2014-05-13

Branch Locations

19410 Jetton Road Suite 110, Cornelius, NC 28031 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Aspire Private Capital, Llc Cornelius NC 04/2014 Present
Global Financial Private Capital, Llc Cornelius NC 10/2014 06/2017
  • 04/2014 → Present
    Aspire Private Capital, Llc
    Cornelius, NC
  • 10/2014 → 06/2017
    Global Financial Private Capital, Llc
    Cornelius, NC
Previous Registrations
  • 2014-10-21 → 2017-06-12
    Global Financial Private Capital, Inc.
    Cornelius, NC
    Sarasota, FL
  • 2011-09-28 → 2014-04-16
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
    Charlotte, NC
  • 2008-08-20 → 2011-09-12
    Edward Jones
    Denver, NC
    St Louis, MO
Other Businesses

INDEPENDENT INSURANCE SALES AGENT - INVESTMENT-RELATED - INSURANCE AND ANNUITY PRODUCT SALES - START DATE 04/2014 - 80 HOURS/MONTH

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-11-14
S66 Uniform Combined State Law Examination 2008-08-15
  • S65 Uniform Investment Adviser Law Examination
    2014-11-14
  • S66 Uniform Combined State Law Examination
    2008-08-15
Designations
Other Names
  • Tj Farrell
  • Thomas J Farrell

View on SEC IAPD

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Other Investors

DAVE ALLISON EDWARDS
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DAVID LAWRENCE SCHIFF
DAVID PAUL COSS
EDWIN BENNETT GRESHAM
Kimberly Belk Kaylor
Jarred Allen West
LARKIN WOBBE

Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Cornelius, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HUNTERSVILLE, NC
RAYMOND JAMES & ASSOCIATES, INC. · HUNTERSVILLE, NC
AMERIPRISE FINANCIAL SERVICES, LLC · Huntersville, NC
MML INVESTORS SERVICES, LLC · Huntersville, NC
CORNERSTONE WEALTH · HUNTERSVILLE, NC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Huntersville, NC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Huntersville, NC

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